SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-22835; File No. S7-24-96]RIN 3235-AG72Rule Amendments Relating to Multiple Class and Series Investment CompaniesAGENCY:Securities and Exchange Commission.ACTION:Final ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release Nos. IC-22775, IS-1095; File No. S7-7-96]RIN 3235-AG61Exemption for the Acquisition of Securities During the Existence of An Underwriting ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230, 232, 239, 240, and 249[Release Nos. 33-7431 and 34-38850; S7-15-96]RIN 3235-AG80Phase Two Recommendations of Task Force ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-38248; File No. S7-7-94]RIN 3235-AG14Net Capital RuleAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities and Exchange Commission ...

This is the 1997 no-action letter from the SEC's Division of Investment Management requested by Cambiar Investors. The RIA sought, and received, a determination that ...